SEC.gov | Rulemaking Activity

This index of the SEC’s rulemaking activity can be filtered by year, status (proposed or final), or division/office that recommended the rulemaking to the Commission.

Twice a year under the Regulatory Flexibility Act, the SEC is required to publish an agenda identifying rules that the agency estimates it may consider in the next 12 months. View the latest SEC RegFlex agenda.

Last Reviewed or Updated: Sept. 13, 2024

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Rulemaking Activity

Issue Date	File Number	Rulemaking	Status
May 25, 2022	S7-17-22	Enhanced Disclosures by Certain Investment Advisers and Investment Companies About Environmental, Social, and Governance Investment Practices Investment Management	Proposed Rule Enhanced Disclosures by Certain Investment Advisers and Investment Companies About Environmental, Social, and Governance Investment Practices 33-11068, 34-94985, IA-6034, IC-34594 View Related Activity
May 25, 2022	S7-16-22	Investment Company Names Investment Management	Proposed Rule Investment Company Names 33-11067, 34-94981, IC-34593 View Related Activity
May 23, 2022	S7-11-22	Removal of References to Credit Ratings From Regulation M Trading and Markets	Proposed Rule Removal of References to Credit Ratings From Regulation M 34-94499 View Related Activity
May 9, 2022	S7-03-22	Private Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviews Investment Management	Proposed Rule Reopening of Comment Periods for "Private Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviews" and "Amendments Regarding the Definition of `Exchange' and Alternative Trading Systems (ATSs) That Trade U.S. Treasury and Agency S 34-94868 View Related Activity
May 9, 2022	S7-10-22	The Enhancement and Standardization of Climate-Related Disclosures for Investors Corporation Finance	Proposed Rule The Enhancement and Standardization of Climate-Related Disclosures for Investors 33-11061, 34-94867 View Related Activity
May 9, 2022	S7-02-22	Supplemental Information and Reopening of Comment Period for Amendments to Exchange Act Rule 3b-16 Regarding the Definition of “Exchange” Trading and Markets	Proposed Rule Reopening of Comment Periods for "Private Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviews" and "Amendments Regarding the Definition of `Exchange' and Alternative Trading Systems (ATSs) That Trade U.S. Treasury and Agency S 34-94868, IA-6018, IA-5955 View Related Activity
April 6, 2022	S7-14-22	Rules Relating to Security-Based Swap Execution and Registration and Regulation of Security-Based Swap Execution Facilities Trading and Markets	Proposed Rule Rules Relating to Security-Based Swap Execution and Registration and Regulation of Security-Based Swap Execution Facilities 34-94615 View Related Activity
March 30, 2022	S7-13-22	Special Purpose Acquisition Companies, Shell Companies, and Projections Corporation Finance	Proposed Rule Special Purpose Acquisition Companies, Shell Companies, and Projections 33-11048, 34-94546, IC-34549 View Related Activity
March 28, 2022	S7-12-22	Further Definition of "As a Part of a Regular Business" in the Definition of Dealer and Government Securities Dealer Trading and Markets	Proposed Rule Further Definition of "As a Part of a Regular Business" in the Definition of Dealer and Government Securities Dealer 34-94524 View Related Activity
March 21, 2022	S7-10-22	The Enhancement and Standardization of Climate-Related Disclosures for Investors Corporation Finance	Proposed Rule The Enhancement and Standardization of Climate-Related Disclosures for Investors 33-11042, 34-94478 View Related Activity
March 9, 2022	S7-09-22	Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure Corporation Finance	Proposed Rule Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure 33-11038 View Related Activity
Feb. 25, 2022	S7-18-21	Reporting of Securities Loans Trading and Markets	Proposed Rule Reopening of Comment Period for Reporting of Securities Loans 34-94315 View Related Activity
Feb. 25, 2022	S7-08-22	Short Position and Short Activity Reporting by Institutional Investment Managers Investment Management, Trading and Markets	Proposed Rule Short Position and Short Activity Reporting by Institutional Investment Managers 34-94313 View Related Activity
Feb. 25, 2022	S7-08-22	Short Position and Short Activity Reporting by Institutional Investment Managers Investment Management, Trading and Markets	Proposed Rule Notice of the Text of the Proposed Amendments to the National Market System Plan Governing the Consolidated Audit Trail for Purposes of Short Sale-Related Data Collection 34-94314 View Related Activity
Feb. 10, 2022	S7-06-22	Modernization of Beneficial Ownership Reporting Corporation Finance	Proposed Rule Modernization of Beneficial Ownership Reporting 33-11030, 34-94211 View Related Activity
Feb. 10, 2022	S7-07-22	Whistleblower Program Rules General Counsel	Proposed Rule The Commission's Whistleblower Program Rules 34-94212 View Related Activity
Feb. 9, 2022	S7-05-22	Shortening the Securities Transaction Settlement Cycle Investment Management, Trading and Markets	Proposed Rule Shortening the Securities Transaction Settlement Cycle 34-94196, IA-5957 View Related Activity
Feb. 9, 2022	S7-04-22	Cybersecurity Risk Management for Investment Advisers, Registered Investment Companies, and Business Development Companies Investment Management, Investment Management	Proposed Rule Cybersecurity Risk Management for Investment Advisers, Registered Investment Companies, and Business Development Companies 33-11028, 34-94197, IA-5956, IC-34497 View Related Activity
Feb. 9, 2022	S7-03-22	Private Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviews Investment Management	Proposed Rule Private Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviews IA-5955, 34-94868 View Related Activity
Jan. 27, 2022	S7-07-15	Pay Versus Performance Corporation Finance	Proposed Rule Reopening of Comment Period for Pay Versus Performance 34-94074 View Related Activity
Jan. 26, 2022	S7-02-22	Supplemental Information and Reopening of Comment Period for Amendments to Exchange Act Rule 3b-16 Regarding the Definition of “Exchange” Trading and Markets	Proposed Rule Amendments Regarding the Definition of "Exchange" and Alternative Trading Systems (ATSs) That Trade U.S. Treasury and Agency Securities, National Market System (NMS) Stocks, and Other Securities 34-94062 View Related Activity
Jan. 26, 2022	S7-01-22	Conformed: Form PF; Event Reporting for Large Hedge Fund Advisers and Private Equity Fund Advisers; Requirements for Large Private Equity Fund Adviser Reporting Investment Management	Proposed Rule Amendments to Form PF To Require Current Reporting and Amend Reporting Requirements for Large Private Equity Advisers and Large Liquidity Fund Advisers IA-5950 View Related Activity
Jan. 13, 2022	S7-20-21	Insider Trading Arrangements and Related Disclosures Corporation Finance	Proposed Rule Rule 10b5-1 and Insider Trading 33-11013 View Related Activity
Dec. 15, 2021	S7-22-21	Money Market Fund Reforms Investment Management	Proposed Rule Money Market Fund Reforms IC-34441 View Related Activity
Dec. 15, 2021	S7-32-10	Prohibition Against Fraud, Manipulation, and Deception in Connection With Security-Based Swaps; Prohibition against Undue Influence over Chief Compliance Officers Trading and Markets	Proposed Rule Prohibition Against Fraud, Manipulation, or Deception in Connection With Security-Based Swaps; Prohibition Against Undue Influence Over Chief Compliance Officers; Position Reporting of Large Security-Based Swap Positions 34-93784 View Related Activity
Dec. 15, 2021	S7-21-21	Share Repurchase Disclosure Modernization Corporation Finance, Investment Management	Proposed Rule Share Repurchase Disclosure Modernization 34-93783, IC-34440 View Related Activity
Nov. 18, 2021	S7-18-21	Reporting of Securities Loans Trading and Markets	Proposed Rule Reporting of Securities Loans 34-93613 View Related Activity
Nov. 18, 2021	S7-19-21	Electronic Recordkeeping Requirements for Broker-Dealers, Security-Based Swap Dealers, and Major Security-Based Swap Participants Trading and Markets	Proposed Rule Electronic Recordkeeping Requirements for Broker-Dealers, Security-Based Swap Dealers, and Major Security-Based Swap Participants 34-93614 View Related Activity
Nov. 17, 2021	S7-17-21	Proxy Voting Advice Corporation Finance	Proposed Rule Proxy Voting Advice 34-93595 View Related Activity
Nov. 4, 2021	S7-15-21	Electronic Submission of Applications for Orders Under the Advisers Act and the Investment Company Act, Confidential Treatment Requests for Filings on Form 13F, and Form ADV-NR; Amendments to Form 13F Investment Management	Proposed Rule Electronic Submission of Applications for Orders Under the Advisers Act and the Investment Company Act, Confidential Treatment Requests for Filings on Form 13F, and Form ADV-NR; Amendments to Form 13F 34-93518, IA-5903, IC-34415 View Related Activity
Nov. 4, 2021	S7-16-21	Updating EDGAR Filing Requirements Corporation Finance	Proposed Rule Updating EDGAR Filing Requirements 33-11005, 34-93519 View Related Activity
Oct. 14, 2021	S7-12-15	Listing Standards for Recovery of Erroneously Awarded Compensation Corporation Finance	Proposed Rule Reopening of Comment Period for Listing Standards for Recovery of Erroneously Awarded Compensation 33-10998, 34-93311, IC-34399 View Related Activity
July 6, 2021	S7-14-11	Credit Risk Retention-Notification of Determination of Review Corporation Finance	Proposed Rule Credit Risk Retention-Notification of Extension of Review Period 34-92326 View Related Activity
April 16, 2021	S7-24-16	Universal Proxy Corporation Finance	Proposed Rule Reopening of Comment Period for Universal Proxy 34-91603, IC-34246 View Related Activity
Dec. 22, 2020	S7-24-20	Updating EDGAR Filing Requirements and Form 144 Filings Corporation Finance	Proposed Rule Rule 144 Holding Period and Form 144 Filings 33-10911, 34-90773 View Related Activity
Nov. 24, 2020	S7-19-20	Temporary Rules to Include Certain "Platform Workers" in Compensatory Offerings Under Rule 701 and Form S-8 Corporation Finance	Proposed Rule Temporary Rules to Include Certain "Platform Workers" in Compensatory Offerings Under Rule 701 and Form S-8 33-10892, 34-90948
Nov. 24, 2020	S7-18-20	Modernization of Rules and Forms for Compensatory Securities Offerings and Sales Corporation Finance	Proposed Rule Modernization of Rules and Forms for Compensatory Securities Offerings and Sales 33-10891
Sept. 28, 2020	S7-12-20	Regulation ATS for ATSs That Trade U.S. Government Securities, NMS Stock, and Other Securities; Regulation SCI for ATSs That Trade U.S. Treasury Securities and Agency Securities; and Electronic Corporate Bond and Municipal Securities Markets Trading and Markets	Proposed Rule Regulation ATS for ATSs That Trade U.S. Government Securities, NMS Stock, and Other Securities; Regulation SCI for ATSs That Trade U.S. Treasury Securities and Agency Securities; and Electronic Corporate Bond and Municipal Securities Markets 34-90019
Aug. 21, 2020	S7-11-20	Administration of the Electronic Data Gathering, Analysis, and Retrieval System EDGAR Business Office	Proposed Rule Administration of the Electronic Data Gathering, Analysis, and Retrieval System 33-10821, 34-89633, 39-2532, IC-33974 View Related Activity
Aug. 21, 2020	S7-10-20	Proposed Amendments to the National Market System Plan Governing the Consolidated Audit Trail To Enhance Data Security Trading and Markets	Proposed Rule Proposed Amendments to the National Market System Plan Governing the Consolidated Audit Trail To Enhance Data Security 34-89632

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